Opinion Pieces & Industry News

Read the latest news & opinion pieces on regulations, compliance and risk from our team and industry colleagues.

Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup We’re heading across the pond… USA here we come! We’re heading across the pond… USA here we come! Principal Firms – Final chance to get your house in order before December Principal Firms – Final chance to get your house in order before December Which major banks have been fined this month for their unmonitored communications? Which major banks have been fined this month for their unmonitored communications? Fingerprint Supervision announces a significant strengthening of its Board as it grows. Fingerprint Supervision announces a significant strengthening of its Board as it grows. FCA Market watch 69 | Key Takeaways & Considerations FCA Market watch 69 | Key Takeaways & Considerations FCA announces strategy for 2022-2025 – how will it impact your financial organisation? FCA announces strategy for 2022-2025 – how will it impact your financial organisation? Securing the future for Principal firms in the UK’s financial industry. Securing the future for Principal firms in the UK’s financial industry. Who is watching the watchdogs?  |  The potential risk of misuse of surveillance software. Who is watching the watchdogs? | The potential risk of misuse of surveillance software. Fingerprint shortlisted in the HFM European Services Awards 2022. Fingerprint shortlisted in the HFM European Services Awards 2022. Fingerprint + ISS LiquidMetrix | Partnership Announcement | December 2021 Fingerprint + ISS LiquidMetrix | Partnership Announcement | December 2021 Market Watch 68: Data & eComms Surveillance practices under the spotlight. Market Watch 68: Data & eComms Surveillance practices under the spotlight. Is your firm potentially at risk of being a vehicle for financial crime? Is your firm potentially at risk of being a vehicle for financial crime? Unlocking the market | Regulatory Hosts & Umbrellas Unlocking the market | Regulatory Hosts & Umbrellas Firms have nowhere to hide on remote work. Firms have nowhere to hide on remote work. FCA’s 2020/2021 Annual Report Round-up | Fingerprint FCA’s 2020/2021 Annual Report Round-up | Fingerprint Protecting your financial firm’s culture and reputation in 2021. Protecting your financial firm’s culture and reputation in 2021. RFA + Fingerprint: Partnership Launch – June 2021 RFA + Fingerprint: Partnership Launch – June 2021 Fingerprint Supervision – Platform Updates – May/ June 2021 Fingerprint Supervision – Platform Updates – May/ June 2021 How hedge funds are embracing the new technology driven reality. How hedge funds are embracing the new technology driven reality. Tone from within | Why personal responsibility in compliance is so important. Tone from within | Why personal responsibility in compliance is so important. Our biggest takeaways from the City of London RegTech Report 2021. Our biggest takeaways from the City of London RegTech Report 2021. The importance of continued learning and up-skilling in 2021. The importance of continued learning and up-skilling in 2021. Future-proofing your firm | Is it possible to keep up with the pace of technological change? Future-proofing your firm | Is it possible to keep up with the pace of technological change? The importance of driving cultural change in Financial Services in 2021. The importance of driving cultural change in Financial Services in 2021. Diving into the FCA’s business plans for 2021. Diving into the FCA’s business plans for 2021. The hidden costs to firms and individuals for non-compliance. The hidden costs to firms and individuals for non-compliance. The challenges (and opportunities) facing firms operating under a principles based regulator… The challenges (and opportunities) facing firms operating under a principles based regulator… Random Sampling does not work to efficiently detect Market Abuse in 2021. Random Sampling does not work to efficiently detect Market Abuse in 2021. The key to stopping market abuse before it happens. The key to stopping market abuse before it happens.